AVP, Compliance Auditor (Poughkeepsie)


: $148,840.00 - $206,040.00 /year *

Employment Type

: Full-Time


: Accounting

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Job Description

This incumbent will support the oversight, design, and execution of audit coverage and validation for the Bank s US AML program consisting of the Bank Secrecy Act (BSA), the US Patriot Act, and other AML, OFAC, and related regulatory requirements ( AML program ) and the compliance program.

Job Responsibilities

  • Drive audit and validation program enhancements
  • Review and assist with audit coverage of AML and sanctions (OFAC) consent order validation programs
  • Review design and execution of Audit Tests/Audit Validation of AML program and related Consent Order Requirements
  • Perform assigned audits including executing approved audit programs and questionnaires
  • Review audit workpapers covering planning and fieldwork; provide subject matter expertise
  • Ensure delivery of complete and timely audit reports and IA feedback
  • Prompt, oversee and reports on corrective action:
  • Evaluate management action plans; direct and/or perform IA issue tracking
  • Follow-up with business and compliance managers and their teams to ensure issues are resolved
  • Coordinate with key stakeholders to identity emerging issues affecting the US operation
  • Update audit strategy and program
  • Design and ensure implementation of continuous monitoring of AML program
  • Improve audit toolset
  • Recommend improvements for departmental performance
  • Build expert knowledge
  • Provide feedback for auditor professional development plans specific to AML and compliance

Job Requirements

  • Bachelor s degree required. Master s degree or JD Law degree is a plus but not required
  • CAMS certification is required
  • Audit certification and/or CAMS-Audit is preferred, but not required
  • At least 5-10 years work experience in a control, risk, compliance, or audit role at large banking organizations or regulatory experience in a senior management role in compliance, AML, or sanctions
  • Specific experience using computer assisted auditing tools to improve sampling and test audit assertions
  • Capability and willingness to develop staff, including new hires, on technical skills
  • Experience as bank examiner, auditor, consultant or compliance professional with a strong understanding of BSA, AML, and OFAC
  • Excellent communication and interpersonal skills
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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